Our Staff has compiled our research into a database of FINRA Broker Disclosures for Hilltop Securities Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Michael Joseph Kane | 5099883 | 4 | 07/15/2022 | Customer Dispute | Pending | $164,965.00 | $0.00 | See FINRA Report |
| Stephen Robert Coma | 1414147 | 1 | 06/08/2022 | Customer Dispute | Pending | $13,000,000.00 | $0.00 | See FINRA Report |
| Martin Bradley Winges | 1929509 | 1 | 06/08/2022 | Customer Dispute | Pending | $13,000,000.00 | $0.00 | See FINRA Report |
| Peter George Cappos | 2445714 | 1 | 05/19/2022 | Customer Dispute | Settled | $47,000.00 | $0.00 | See FINRA Report |
| Nicholas C. McMahan | 5578896 | 4 | 08/09/2021 | Customer Dispute | Settled | $18,588.00 | $0.00 | See FINRA Report |
| Mark Fred Augusta | 1333913 | 23 | 03/24/2021 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Mark Fred Augusta | 1333913 | 23 | 08/31/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nicholas C. McMahan | 5578896 | 4 | 06/20/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Mark Fred Augusta | 1333913 | 23 | 05/01/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Adam Ray Melville | 5311511 | 3 | 02/13/2020 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |